Table B – Lead Auditor qualifications and competencies

Approved by: Managing Director   PSA Document Title :   Table B – Lead Auditor qualifications and competencies   Document Code: T –PSA-100     The online version of this document is the latest version; all printed material is uncontrolled. It is the reader’s responsibility to check that printed copies are the current version. Date of Approval Description of changes Version number April First edit #1

 

In addition to the requirements of tables A, lead auditors conducting ASC farm audits shall possess the following qualifications and competencies.

 

Qualification/Competency	Requirement
	The individual shall initially have completed a minimum of 25 days of onsite audit experience in
	conducting audits (either for social or environmental compliance).
	The individual shall have undertaken at least two satisfactory audits as an acting audit team leader,
	shadowed by and under the supervision of a competent lead auditor.
B18. Audit Experience	The individual shall have conducted at least three (3) ASC audits or have been a member of an
	audit team for ten (10) audit days, for equivalent aquaculture audits at more than one (1)
	production facility.
	The individual shall have conducted at least three (3) management system audits (for multi-site
	and group certification).
	The individual shall be able to apply audit principles, procedures and techniques associated with
	management systems and possess a detailed knowledge of compliance issues commonly experienced
	with aquaculture and associated processing operations.
	The individual shall be able to prioritize and focus on matters of significance and understand the
B19. Audit principles and	appropriateness and consequences of using sampling techniques for auditing.
techniques	The individual shall be able to verify the accuracy of collected information and be aware of the
	significance and appropriateness of audit evidence to support audit findings and conclusions.
	The individual shall understand and assess those factors that can affect the reliability of the audit
	findings and conclusions. The individual shall be able to apply audit principles in the conduct of a social audit.

 

 

 

 

 

 

	Qualification/Competency		Requirement
			The individual shall have successfully completed of a Lead Assessor training course based on ISO
			19011 principles that have a minimum duration of thirty-seven (37) hours. The certificate must
	B20. Audit Training		specify the course content and duration. Successful completion must be indicated on the certificate.
			The Lead Assessor training course must cover: applicable standards on quality auditing, auditing
			techniques, focus of the audits (psychological aspects and communication) and reporting, and it
			must also include a practical case study.
			The individual shall have undertaken and successfully completed an ASC approved auditor training
			course or courses in relation to specific standards, as required by the ASC.
			The individual shall have undertaken and successfully passed the ‘ASC Farm Traceability’ or CoC
			training at the MSC online training platform6.
			The individual shall complete the ASC training for new requirements as specified by the ASC
			within the deadlines set by ASC.
	B21. Auditor training		The individual shall have successfully completed an IRCA management system lead auditor
			course (for multi-site or group certification).
			The individual shall undertake additional training on changes to legislation, specific standards, codes
			or conventions as appropriate.
			The individual has had an audit peer witnessed by a qualified ASC lead auditor no less than once
			in each two (2) year period.
			The individual shall lead no less than two (2) ASC audits per year to maintain ASC lead auditor
			qualification.

 

	Qualification/Competency			Requirement
				The individual shall be able to reach timely conclusions based on logical reasoning and analysis, and
	B22.	Decisive		in the case of possible conflict, be confident to manage and control discussions.
				The individual shall assume the leadership role during discussions and other situations in order to resolve issues.
				The individual shall have knowledge and investigative skills to detect and document evidence of non‐
	B23.	Detection skills		conformities.
				The individual shall have the investigative skills to determine the authenticity of information and to
				evaluate allegations made by other sources.
	B24.	Ethically and morally		The individual shall act professionally and ethically and make decisions even though these actions and
		courageous		decisions may result in disagreement, confrontation or appeal proceedings.
	B25.	Facilitating meetings		The individual shall effectively control and manage meetings during the audit.
	B26.	Fraud detection		The individual shall understand and has the skills to detect commonly used methods of document
				manipulation, fraudulent actions and fraudulent practices.
				The individual shall have skills to ensure effective communication between themselves and other
				people.
	B27.	Interpersonal skills		The individual shall have good people management skills.
				The individual shall have good communication skills in relation to a situation which warrants careful
				information gathering such as issues relating to gender, race, culture, discrimination and
				worker/management dispute.

 

	Qualification/Competency			Requirement
				The individual shall be experienced in different types of interviewing techniques.
				The individual shall understand the principles of sampling techniques with respect to group or individual
				interviews and cultural considerations.
	B28.	Interviewing		The individual shall have the ability to interview personnel without compromising the source of
				information.
				The individual shall deal discreetly with personnel who may feel compromised or feel
				uncomfortable being interviewed.
				Unless accompanied by an independent interpreter, the individual shall be a fluent speaker and reader of
	B29.	Language		the language(s) used by managers, administrators and workers of the organisation being audited.
				The individual shall communicate effectively through an interpreter.
	B30.	Logical judgement		The individual shall make correct decisions based on objective and verifiable evidence.
	B31.	Management systems		The individual shall have a general knowledge of management systems standards (such as ISO
		and reference		9001), applicable procedures or other management systems documents used as audit criteria.
		documents
				The individual shall have good oral communication skills, which makes him/her understood by the
	B32.	Oral presentation		intended audience.
				The individual shall provide clear and accurate oral representation on audit findings at closing meetings
				and clearly articulate these in relation to legal requirements and relevant codes.
				The individual shall have knowledge of general business processes and shall understand the
	B33.	Organisational		workings of organisations in relation to size, structure, function and relationships.
		situations		The individual shall understand the social, economic and cultural relationships in worker communities.

 

 

	Qualification/Competency			Requirement
				The individual shall effectively plan, prioritise and adjust the activities to auditee needs as far as possible,
	B34.	Organisational skills		without adversely affecting the audit.
				The individual shall have good organisational and time management skills.
	B35.	Self‐reliant		The individual shall be able to act effectively and function independently during audits
	B36.	Technical language		The individual shall have knowledge of the technical language employed in aquaculture and
				processing of aquaculture products.
	B37.	Work experience		The individual shall have industrial experience relevant to the business being audited.

 

ASC Certification and Accreditation Requirements, Version 2.1 Multi-site certification requirements are effective from 1st December 2017